Solutions for Investment Providers

Solutions for Investment Providers

Overview

The IPXSM Platform dashboard provides the total number of active advisors, number of managed plans and participants, and a summary of all assets and balances by investments.

Advisor Profiles

Oversight of advisors and their accounts is readily available. Authorized investment firm users can view all registered advisors and their affiliated accounts on the platform to review any positions and activity.

Investments

Authorized investment firm users can control the list of approved investments and create predefined investment offerings for advisors to use.

Reports & Exports

Export trade histories, assets by advisor and complete NSCC record files for importing to your proprietary systems.

View and print a variety of reports, including participant and plan statements, investment allocations, deferral rates and amounts and census demographics. All reports are instantly created in PDF, Excel, Text or HTML for printing or archiving.

Management & Oversight

The Investment Firm Gateway provides sales and compliance departments a complete view of retirement plan assets/positions and the affiliated financial advisor.

  • Approve Investment Options
  • Maintain Advisor Profile data
  • View Advisors Activity
  • Access Reports
  • Export Transaction History

The Platform of Opportunity

A new approach for investment vendors.

As an investment vendor, whether your firm is a mutual fund company, insurance annuity provider, or a broker dealer with a proprietary platform product, the IPX Platform offers a solution that is dedicated to serving investment vendors and provides the following significant benefits:

1

Reduce Cost

Eliminate the costs and liabilities regarding account recordkeeping; mailing statements; contribution, loan, and distribution processing; paying third-party administration fees; and SPARK information sharing.

2

Maintain Control

As the investment vendor, your firm continues to control the relationship with plans, third party administrators, authorized agents and advisors, and the clients with whom they work. Your firm also controls which plans your products are made available in.

3

Expand Distribution

By removing some of the barriers to entry and the efficiency offered by the platform, adding investment vendors is no longer a challenge for plan sponsors and third-party administrators. Whether you use captive agents or seek to broaden sales channels by leveraging independent advisors, IPX Platform provides that flexibility.